Approved Regulators Sanction & Appeals Mechanisms

Approved Regulators Sanction & Appeals Mechanisms

SOLICITORS REGULATION AUTHORITY NON-ABS Enforcement action taken if there is serious non-compliance with SRA principles or a risk exists to the public that cannot be mitigated by either the SRA or an individual Individuals (including solicitors (S), RELs, RFLs, former solicitors (FS), managers (M), employees (E) employees of sole practitioners (ESP)) and recognised bodies (RB) WHAT POWERS: - The Solicitors Act 1974, The Administration of Justice Act 1974, The Courts and Legal Services Act 1990 - Part II of the Solicitors Act 1974 (as amended) established the Solicitors Disciplinary Tribunal (SDT) - The SDT s powers are recognised, modified and extended under the LSA, particularly in Part 8 DECISION MAKER SANCTIONS/PENALITIES/COSTS APPEALS SRA staff with delegated authority or... Adjudication (single) SDT (non-abs) (criminal) Regulatory Settlement Agreement (including): - Removal from roll by consent - Agreed public statements - Practising controls - Schemes for correction, improvement and restitution - Costs - Removal from the roll by consent - Written rebuke and publication - Penalty to 2,000 (consulting to raise to 10K, 50k or 100k) - Costs from solicitors, RELs and recognised bodies - Conditions (S, REL, RFL) - Conditions (RB) - suspend / revoke authorisation (RB) Referral to the SDT S REL RB M E RFL ESP - Strike off (S) restore/prohibit (FS) - Suspension (indef/specified) - Termination of suspension - Revoke sole endorsement - Unlimited penalty (incl FS) - Criminal/ legal aid exclusion - Revoke recognition - Reasonable costs The SDT also frequently issues reprimands & severe reprimands and orders practising controls (Though, these acts are not based on express statutory powers) (SDT must consent to withdrawal if proceedings started) 2: SDT 3: High Court 2: High Court 1: Master of the Rolls 2: High Court (admin)

SOLICITORS REGULATION AUTHORITY - ABS Enforcement action taken if there is serious non-compliance with SRA principles or a risk exists to the public that cannot be mitigated by either the SRA or an individual Licensed bodies, HOLPs, HOFAs, managers, employees, solicitors, European lawyers (REL), foreign lawyers (RFL) and former solicitors (FS) WHAT POWERS: -The Legal Services Act 2007, The Solicitors Act 1974, The Administration of Justice Act 1974, The Courts and Legal Services Act 1990 - Part II of the Solicitors Act 1974 (as amended) established the Solicitors Disciplinary Tribunal (SDT) - The SDT s powers are recognised, modified and extended under the LSA, particularly in Part 8 DECISION MAKER SANCTIONS/PENALITIES/COSTS APPEALS SRA staff with delegated authority or... Adjudication (single) Regulatory Settlement Agreement (including): - Agreed public statements - Schemes for correction, improvement & restitution - Practising controls - Removal from the roll by consent - Costs -Penalty to 50m / publication ABS individual - Penalty to 250m / publication ABS entities -Impose conditions on solicitors, RELs and RFLs 2: SDT 3: High Court (points of law) 2: High Court - Impose conditions on a licensed body - Suspend / revoke authorisation - Disqualify from acting as a HOLP or HOFA - Disqualify from being a manager or employee 2: SDT

BAR STANDARDS BOARD WHAT POWERS: The BSB has available both non-disciplinary powers for breaches of the Handbook and disciplinary powers for professional misconduct. It will only refer complaints for disciplinary action where it considers there is a realistic prospect of a finding of professional misconduct being made (or there is a realistic prospect of the disqualification condition being satisfied and it is in the public interest, having regard to the regulatory objectives to pursue disciplinary proceedings) Sole practitioner, employed, and self-employed barristers and all persons called to the Bar (Relevant Persons, as defined in Part 6 of the BSB Handbook) Disciplinary Tribunal Powers derived from the Senior Courts Act 1981 give High Court judges the power to discipline barristers, which they resolved, in 1986, to exercise through COIC. The appeal function is exercised through High Court under the Crime and Courts Act 2013. DECISION MAKER SANTIONS/PENALTIES/COSTS APPEALS Professional Conduct Dept or... Professional Conduct Committee Non-disciplinary sanctions (no further action (NFA) decisions): - Advice Non-disciplinary administrative sanctions available for all breaches of the Handbook: - Written warning - Fixed penalty fine - administrative fine to 1,000 BTAS 3 person appeal panel ( 100 payable to BSB) Professional Conduct Committee (criminal) Determination by consent: - Reprimand (BSB) - Advice order - CPD order - Fine to 50,000 - Reprimand/advice from nominated person Referral to BTAS 3 or 5 person panel Disciplinary Tribunal BTAS (Criminal): - 3 person panel - 5 person panel (dishonesty and/or deception) 3 person panel: - Reprimand (Tribunal/nominee) - Advice order (Tribunal/nominee) - CPD order - Conditions on practising certificate - Prohibited from accepting public access instructions - Exclusion from Legal Aid representation - Suspension to 12 months (with or without conditions) - Disqualification to 12 months - Fine to 50,000 and costs both ways - Referral to 5 person panel for sentencing 5 person panel: (in addition to 3 person panel powers): - Disbar - Suspension for an unlimited period (with or without conditions) - Disqualification for more than 12 months High Court under the Crime and Courts Act 2013 (criminal) ON APPEAL: High Court under the Crime and Court Act 2013 (criminal) - Dismiss appeals - Allow in part of whole - Confirm / vary orders - Order re-hearing

COUNCIL FOR LICENSED CONVEYANCERS The CLC invokes its enforcement policy when its Code of Conduct is not upheld Licensed conveyancers, recognised bodies, licensed (ABS) bodies WHAT POWERS: - Part II of the Administration of Justice Act 1985 - Legal Services Act 2007 for alternative business structures - Section 69 Order for amendment to appeals process (first draft with the Ministry of Justice) DECISION MAKERS SANCTIONS/PENALTIES/COSTS APPEALS Authorised officers, LPIs & directors Adjudication Panel Adjudication officers Adjudication Panel - Penalty to 1,000 - Reasonable costs Adjudication Panel - Referral to Adjudication Panel High Court As Approved Regulator (non-abs) Licensed conveyancers: -Revoke licence - disqualification (perm/specific) - Suspension -Condition to licence - Reprimand order -Penalty to 50m As Licensing Authority (ABS) Licensed body: - Reprimand body - Revoke body s licence - Suspend body s licence - Conditions direction - Intervene HoLP or HoFA: - Require CLC to take steps - Withdraw approval for role - Disqualify from holding a licensed role Recognised body: -Revoke recognition - Reprimand order - Condition to recognition - Penalty to 250m - Appropriate costs Manager/employee of recognised body: -Order CLC to take steps - Referral to other regulator - Penalty to 50m - Appropriate costs Licensed body owner: - Conditions on material interest - Object to interest & apply to High Court to divest interest Manager/employee of ABS: -Require CLC to take steps - Referral to other regulator - Disqualify from holding a licensed body role - Penalties to 50m for licensed body owners, HoLPs, HoFAs, managers & employees - Penalties to 250m for licensed bodies High Court Adjudication Panel First Tier Tribunal

INTELLECTUAL PROPERTY REGULATION BOARD IPReg reviews complaints to decide if there are proportionate, prima facie cases to answer A complaint about an attorney or firm must relate to a breach of IPReg s Code of Conduct or Litigators' Code Special consideration is given to attorneys complaints about other attorneys - Patent attorneys - Trade mark attorneys - ABS - Entities WHAT POWERS: - s.275a Copyright Designs and Patents Act 1988 and s.83a Trade Marks Act 1994 (as amended) do not specify any sanctions or appeals mechanism, though they do give the person keeping the register power to make regulations governing conduct and discipline - Section 69 order for ABS powers (seeking approval) DECISION MAKERS SANCTIONS/PENALTIES/COSTS APPEALS Complaints Review Committee (Sift Panel) Summary procedure: - Notice -Reprimand - Warning - Part or full cost - Referral to the Disciplinary Board Disciplinary Board -Public notice -Warning -Penalty to 5,000 - Part or full costs - Reprimand - Suspension/removal - Cancelled certificate - CDP order Disciplinary Board ON INTERNAL APPEAL: Independent Adjudicator Recommend ITMA/CIPA suspension/expulsion Recommend recognition, authorisation & withdrawal for: - UK Intellectual Property Office - European Patent Office - Office for Harmonisation in the International Market - Recommend ITMA/CIPA suspension/expulsion - Affirm decision - Vary decision - Vary costs Considered by an independent adjudicator (Proposed external appeal) First Tier Tribunal

IPS IPS investigates conduct complaints and refers allegations to its Professional Conduct Panel, which assesses whether its outcomes based Code has been breached Individual Chartered Legal Executives, Associate Prosecutors (Currently seeking entity rights and individual rights for CILEx practitioners) WHAT POWERS: - The Legal Services Act 2007 - The Institute s Royal Charter - Section 69 Order for entity enforcement powers (seeking approval) DECISION MAKERS SANCTIONS/PENALTIES/COSTS APPEALS IPS manager Professional Conduct Panel Disciplinary Tribunal ON APPEAL: Appeals Panel - Reject case where IPS has no jurisdiction Professional Conduct Panel - Referral to Disciplinary Tribunal -Determination by consent - no costs (agreed by IPS manager, signed-off by Conduct Panel) - Suspension during hearing (12 months max) Conditions on employment or conduct: - Practising conditions - Reprimands - Warnings Future conduct: - Undertaking agreement conditions - Referral to Disciplinary Tribunal Conditions on employment or conduct: - Practising conditions - Reprimand - Membership exclusion (fixed or indefinite period Can reapply after fixed period has lapsed) - Fines to 3,000 (policy being developed) -Order costs New powers (seeking approval): -Pre hearing interim orders - Affirm decision - Vary decision Appeals Panel Appeals Panel

COSTS LAWYER STANDARDS BOARD WHAT POWERS: The CLSB investigates complaints where it believes there are reasonable grounds that its rules and code have not been complied with by a costs lawyer Individual costs lawyers Currently not seeking entity rights, awaiting outcome of call for evidence on legal regulation The Association of Law Costs Draftsmen Order 2006 was revoked and replaced on 01 January 2010 by Legal Services Act (Commencement No 6, Transitory, Transitional and Savings Provision) Order 2009 DECISION MAKERS SANCTIONS/PENALTIES/COSTS APPEALS Level One: CLSB investigation Minor disciplinary findings: - Warning letter - Undertaking - Costs fixed at 250 Referral to Conduct Committee Conduct Committee Conduct Appeal Committee Level Two: Conduct Committee - Warning letter - Undertaking - Suspension to 2 years - Permanent removal from register - Penalty to 2,000 - Costs fixed at 1,000 Conduct Appeal Committee (no further appeals to Level Three from Level One warning letter or undertaking) Level Three: Conduct Appeal Committee - Dismiss, uphold, vary sanction/costs - Suspension, unlimited - Permanent removal from register - Revise penalty to 4,000 - Costs fixed at 1,500

MASTER OF THE FACULTIES WHAT POWERS: For the protection of the public when service complaints are received about notarial conduct Individual notaries -currently not considering to apply to regulate entities The Ecclesiastical Act 1533, the Public Notaries Act 1801, section 4 of the Public Notaries Act 1843 and section 57(4)(c) of the Courts and Legal Services Act 1990 grant the Master of Faculties broad powers to make rules about the practice, conduct and discipline of public notaries. It is also an AR under the LSA DEICISON MAKERS SANCTIONS/PENALTIES/COSTS APPEALS Registrar of the Court Referral to the Company of Scriveners: When there is a case for notarial misconduct Appointment of Nominated Notary: When there is a case for non-scrivener misconduct Interim Order to suspend, restrict, limit or impose conditions of practice: Evidence of gross misconduct Court of Faculties Court of Faculties (Commissary & 2 assessors) Notarial misconduct: - Struck-off register - Suspension (time/conditions) -Conditions on practising certificate - CPD order - Admonishment - Order costs both ways - Penalty to 10,000 - Indemnify clients with fund Judicial review of the Commissary decision Court of Faculties Review To review Orders for striking-off, suspension, or conditions: - Restore notary to the Roll - Immediate/future lifting of suspension - Remove/vary conditions - Impose new conditions - Dismiss application Master of Faculties Chancellor of the High Court Reject application for admission or readmission as a public notary Notaries can challenge the Master if they are refused a licence without just and reasonable cause... to any faculty to practise Chancellor of the High Court